| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1321 |
|
SARANG WADHAWAN
(PAN:AAAPW2530R)
(Along with : KAPIL KUMAR WADHAWAN,
DHEERAJ RAJESHKUMAR WADHAWAN,
RAKESH KUMAR WADHAWAN,
ARUNA RAJESHKUMAR WADHAWAN,
MALTI RAKESH KUMAR WADHAWAN,
ANU S.WADHAWAN,
POOJA D.WADHAWAN)
|
|
|
|
GALAXY INFRAPROJECTS & DEVELOPERS PVT.LTD.
PAN:AACCG7477N
|
|
|
HEMISPHERE INFRASTRUCTURE INDIA PVT.LTD.
PAN:AABCH8065Q
|
|
|
SILICON FIRST REALTORS PVT.LTD.
PAN:AACCG7477N
|
|
|
WADHAWAN CONSOLIDATED HOLDINGS PVT.LTD.
PAN:AACCD2944F
|
|
|
WADHAWAN GLOBAL CAPITAL LTD.
PAN:AAACW9811G
|
|
|
WADHAWAN HOLDINGS PVT.LTD.
PAN:AAACW5001G
|
|
|
WADHAWAN RETAIL VENTURES PVT.LTD.
PAN:AAACW6632R
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 11(1) AND 11(2) OF SEBI TAKEOVER CODE, 1997 READ WITH REGULATION 3(2) OF SAST REGULATIONS, 2011 IN MATTER OF DEEWAN HOUSING FINANCE CORP.LTD.
|
IMPOSED PENALTY RS.5,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
20-SEP-2023
|
SAT: SAT VIDE ITS ORDER DATED 13/08/2024 GRANTED RESPONDENT FOUR WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 27/11/2024 GRANTED APPELLANTS TWO WEEKS TO FILE REJOINDER
|
| 1322 |
|
|
SARIKA JHUNJHNUWALA
(PAN:AGTPJ7274N)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING FOR CHANGE OF MORE THAN 2% OF TOTAL SHAREHOLDING OF MS.URVI JINDAL ALONG WITH PERSONS ACTING IN CONCERT (PACS) VIOLATING REGULATION 29(2) OF SAST REGULATION, 2022 IN MATTER OF SHALIMAR PAINTS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,04,500 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
13-MAR-2025
|
|
| 1323 |
|
|
SARITA AGARWAL
(PAN:ACOPA8343A)
|
|
|
|
KAMDHENU CONCAST LTD.
PAN:AADCK1249D
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4A) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF KAMDHENU ISPAT LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF KAMDHENU ISPAT LTD.
|
IMPOSED PENALTY RS.6,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-JAN-2018
|
|
| 1324 |
|
|
SARITA DEVI JAIN
(PAN:AAEPJ1437E)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING FOR CHANGE OF MORE THAN 2% OF TOTAL SHAREHOLDING OF MS.URVI JINDAL ALONG WITH PERSONS ACTING IN CONCERT (PACS) VIOLATING REGULATION 29(2) OF SAST REGULATION, 2022 IN MATTER OF SHALIMAR PAINTS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,04,500 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
13-MAR-2025
|
|
| 1325 |
|
|
SARITHA SUKUMARAN
(PAN:AYFPS1523F)
(Along with : VALIYAVEDDU KRISHNANKUTTY SUKUMARAN)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 3(2) OF SAST REGULATIONS, 2011 IN MATTER OF VKS PROJECT LTD.
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
05-AUG-2020
|
SAT: SAT VIDE ITS ORDER DATED 24/08/2021 DISMISSED THE APPEAL
SEBI VIDE ITS NOTICE DATED 10/12/2024 DIRECTED TO PAY RS.15,31,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 30/12/2024 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
|
| 1326 |
|
|
SARITHA SUKUMARAN
(PAN:AYFPS1523F)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 3(2) OF READ WITH REGULATION 13 OF SAST REGULATIONS, 2011 IN MATTER OF VKS PROJECTS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-NOV-2019 TO 27-NOV-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-NOV-2019 TO 27-NOV-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
28-NOV-2019
|
|
| 1327 |
|
|
SAROJ RAJENDRA PATEL
(PAN:ANEPP0366M)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) READ WITH 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF SHREE SURGOVIND TRADELINK LTD.
|
IMPOSED PENALTY RS.6,00,000 ALONG WITH OTHER ENTITIES/PERSONS
27-JUN-2014
|
COMPANY VIDE DEMAND DRAFT NO.728877 DATED 22/12/2014 FOR RS.6,00,000.00 DRAWN ON TAMILNAD MERCANTILE BANK HAS PAID THE PENALTY AMOUNT TO SEBI
|
| 1328 |
|
|
SAROJBEN RAJUBHAI PATEL
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) READ WITH 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF SHREE SURGOVIND TRADELINK LTD.
|
IMPOSED PENALTY RS.6,00,000 ALONG WITH OTHER ENTITIES/PERSONS
27-JUN-2014
|
COMPANY VIDE DEMAND DRAFT NO.728877 DATED 22/12/2014 FOR RS.6,00,000.00 DRAWN ON TAMILNAD MERCANTILE BANK HAS PAID THE PENALTY AMOUNT TO SEBI
|
| 1329 |
|
|
SARWANKUMAR DEVIDUTT SARAF
(PAN:AALPS7121H)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF THACKER & CO.LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.19,68,457 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
24-APR-2019
|
|
| 1330 |
|
|
SARWANKUMAR DEVIDUTT SARAF
(PAN:AALPS7121H)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) AND 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF RAMMAICA (INDIA) LTD.
|
IMPOSED PENALTY RS.8,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-MAY-2017
|
|
| 1331 |
|
|
SARWANKUMAR SARAF
(PAN:AAAHS9815F)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF THACKER & CO.LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.19,68,457 VIDE CONSENT ORDER)
24-APR-2019
|
|
| 1332 |
|
|
SATISH CHANDRA MALHOTRA
(PAN:AFBPM6023P)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 10(6), 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF EMPIRE INDUSTRIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,83,226 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
21-JAN-2019
|
|
| 1333 |
|
|
SATISH KUMAR GOYAL
(PAN:AAPPG6375H)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 30(1) AND 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF O.P.CHAINS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
16-APR-2020
|
|
| 1334 |
|
|
SATISH R.SHAH
(PAN:ACBPS8940G)
(Along with : SHEETAL S.SHAH,
VISHAL S.SHAH,
JYOTSNA S.SHAH,
YATIN G.SHAH)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF SAWACA BUSINESS MACHINES LTD.
|
IMPOSED PENALTY RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-APR-2022
|
|
| 1335 |
|
|
SATNAM SINGH
(PAN:ARFPS9342F)
|
|
|
|
CITYGOLD CREDIT CAPITAL LTD.
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGE AS REQUIRED UNDER REGULATION 29(2) OF SAST REGULATIONS, 2011 IN MATTER OF CITY GOLD CREDIT CAPITAL LTD.
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 3(1) OF SAST REGULATIONS, 2011 IN MATTER OF CITY GOLD CREDIT CAPITAL LTD.
|
IMPOSED PENALTY RS.15,00,000 ALONG WITH OTHER ENTITIES/PERSONS
26-JUN-2025
|
|
| 1336 |
|
|
SAURABH NEVATIA
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 10(5) OF SAST REGULATIONS, 2011 IN MATTER OF HIND RECTIFIERS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)
28-FEB-2019
|
|
| 1337 |
|
|
SAVITRI DEVI JAJOO
(PAN:ADVPJ7839A)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) AND 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF IKAB SECURITIES & INVESTMENT LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 30(1) AND 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF IKAB SECURITIES & INVESTMENT LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
30-NOV-2022
|
|
| 1338 |
|
|
SAVITRI DEVI JINDAL
(PAN:ACPPJ0130M)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING FOR CHANGE OF MORE THAN 2% OF TOTAL SHAREHOLDING OF MS.URVI JINDAL ALONG WITH PERSONS ACTING IN CONCERT (PACS) VIOLATING REGULATION 29(2) OF SAST REGULATION, 2022 IN MATTER OF SHALIMAR PAINTS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,04,500 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
13-MAR-2025
|
|
| 1339 |
|
|
SEAN PAUL CARNEY
(PAN:AIJPC8442K)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) READ WITH 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF MOSCHIP SEMICONDUCTOR TECHNOLOGY LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) READ WITH 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF MOSCHIP SEMICONDUCTOR TECHNOLOGY LTD.
|
IMPOSED PENALTY RS.4,00,000 ALONG WITH OTHER ENTITIES/PERSONS
17-OCT-2017
|
|
| 1340 |
|
|
SEEMA GARG
(PAN:AAJPG3268R)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF ADVIK CAPITAL LTD.
|
IMPOSED PENALTY RS.3,00,000
20-JUN-2024
|
SAT: SAT VIDE ITS ORDER DATED 26/09/2025 DISPOSED OF THE APPEAL BY REDUCING PENALTY AMOUNT BY 50%. NO COSTS
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
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| Page 67 of 84
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